Financial Advisor - Fountain Valley, CA

Overview

To provide basic financial consulting services to assist members and non-members with identifying their financial goals and objectives. Acts as a catalyst for the promotion and growth of NFFG products and services. Recommends appropriate mixture(s) of insurance/investment products and services to achieve the financial client's goals as a registered representative/advisor/agent of Navy Federal Financial Group (NFFG) and subsidiaries, or incumbent financial firms.

Manages moderate dollar volume and moderate member bases.

• Actively engaged within assigned branch territory to establish and build relationships for member growth and engagement
• Conducts local seminars and member engagement events to grow book of business
• Partners with Wealth Advisor in assigned territory to segment book of business based on member needs and complexity
• Provide investment industry expertise to client investment consultations and servicing of life insurance and full suite of investment products
• Administer and document account activity and execution in accordance with NFFG process and procedures and FINRA, NASAA, SEC regulations
• Conduct review of accounts to communicate account status, explain activities and inform clients of new offerings
• Develop an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures
• Establish, maintain, and develop business relationships with members and internal/external sources
• Execute customer and broker purchase/sales orders of securities for current/new clients
• Identify prospective participation partners/opportunities through prospect calling, networking, and leveraging existing participation business
• Keep current with legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFIS clients and/or business environment
• Monitor accounts to ensure accurate processing, identify discrepancies, errors/concerns and take remedial actions
• Monitor, track and report performance of individual sales plans and assigned strategies for leadership
• Participate in site audits of registered duties, ensuring documentation and processes comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies
• Prepare standard/special reports required by FINRA, NASAA and SEC, and participate in industry and/or internal audits
• Perform other duties as assigned or appropriate

• Proven ability to prospect and grow and established book of business
• Ability to generate GDC based on defined thresholds within a specified period of time
• FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required. Life & Health Insurance License preferred (or the ability to obtain within 90 days of hire)
• Effective analytical, decision-making, problem-solving and organizational skills Exercises initiative using good judgment to make sound decisions
• Effective interpersonal, verbal, and written communications skills
• Effective planning, organizational, time management and problem-solving skills
• Effective skill building relationships through rapport, trust, diplomacy, and tack
• Effective skill exercising initiative and using good judgment to make sound decisions
• Effective skill presenting findings, conclusions, alternatives, and information clearly and concisely
• Effective skill to influence, negotiate and persuade to reach agreeable exchange and positive outcomes
• Ability to obtain appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm
• Experience in business development to include market strategy, product demonstration and promoting products and services
• Experience consulting with customers to assess their financial status and identify investment needs
• Effective knowledge of investment and insurance products
• Effective knowledge, to interpret industry related laws and government regulations
• Proficiency with PCs and spreadsheet, database, word processing applications, CRMs and financial analysis software
• Understanding of economic and accounting principles, practices, financial markets, banking, analysis, and reporting of…